TOWER BAY ASSET MANAGEMENT LP
Adviser information for TOWER BAY ASSET MANAGEMENT LP last updated from Form ADV on March 25th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Partnership |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 9 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 3 | $437.8M |
| Non-Discretionary | 0 | $0 |
| Total | 3 | $437.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 6 | $437.8M |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 92 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-122648 |
|---|---|
| SEC ERA File Number | 801-122648 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 317104 |
| Legal Entity Identifier | 894500SODT7FFAFH5910 |
Principal Office
700 CANAL STREETSUITE 12E
STAMFORD
CT
United States
Monday - Friday, 8:00AM - 6:00PM
Tel: 203-610-8806, Fax: 203-610-8801
Chief Compliance Officer
JOSEPH M. DIBARTOLO
700 CANAL STREET
SUITE 12E
STAMFORD
CT
United States
Tel:
631-834-0081
J*********@**************************M
(Full email address available in API data)
Regulatory Contact
WILLIAM HAUF
PARTNER/COO/CFO
700 CANAL STREET
SUITE 12E
STAMFORD
CT
United States
Tel:
203-610-8806
Fax:
203-610-8801
W****@**************************M
(Full email address available in API data)
Industry Affiliates
| TOWER BAY CAPITAL LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| TOWER BAY MUNICIPAL BOND OPPORTUNITY MASTER FUND LP | Hedge Fund | $194.4M | $0.5M | 56 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| HAUF, WILLIAM, G | Individual | – | LIMITED PARTNER/COO/CFO | 09/2021 | 50-75% |
| FRIEDMAN, KEITH, ERIC | Individual | – | LIMITED PARTNER/PORTFOLIO MANAGER | 09/2021 | 50-75% |
| TOWER BAY CAPITAL GP LLC | Domestic Entity | – | GENERAL PARTNER | 09/2021 | < 5% |
| HAUF, WILLIAM, G | Individual | TOWER BAY CAPITAL GP LLC | MEMBER | 09/2021 | 50-75% |
| FRIEDMAN, KEITH, ERIC | Individual | TOWER BAY CAPITAL GP LLC | MEMBER | 09/2021 | 50-75% |
| DIBARTOLO, JOSEPH, MAURICE | Individual | – | CHIEF COMPLIANCE OFFICER | 11/2021 | < 5% |